Series 65: Registration Exceptions

Taken from our Series 65 Online Guide

Registration Exceptions

The registration exceptions for investment adviser representatives are the same as for investment advisers. Investment adviser representatives do not have to register in a state if they do not have an office in the state and they have five or fewer non-institutional clients in the state (the de minimis exemption).

Individuals who fall into the above categories would not need to register as investment adviser representatives within a state.

Note: An investment adviser is responsible for supe

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Registration Exceptions, you might also be interested in:

Series 79 - Chapter 5 Practice Questions

Series 7 - 9.1. Business Cycles

Series 65 - 2.7. Secured Bonds

Series 54 - 1.1.2. Securities Exempt from Registration

Series 63 - Chapter 3

Series 27 - Activities Requirement

Series 24 - Registration Requirements

Series 79 - A1.5.4. Warrants

Series 22 - 6.1.1. FINRA Member Disclosure Requirements

Series 3 - 7.6.1.6. Penalties

Series 7 - 8.3.1. Term Life Insurance

Series 24 - 3.2.2.2.2. Maintenance Margin Requirement

Series 63 - Chapter 4 Practice Question Answers

Series 65 - The Income Statement

Series 51 - Uniform Transfer to Minors Act (UTMA) Accounts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!

Ashley

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

I could not be happier with Solomon Exam Prep and I am so glad I found it. I had taken this test prior and wasn't able to pass. After utilizing the Total Study Package for the Series 65, including the book, audiobook, summary videos and practice tests, I felt very confident clicking the submit button at the end of the test. I would highly recommend Solomon Exam Prep to pass your upcoming test.

Dane Urista, Vincent Asset Management, Eden Prairie, MN

I learned the material quickly and passed the Series 65 with flying colors. It was fun to listen while driving, and it was easy to absorb the information—just like being taught by an entertaining young professor!

Chris McConnell, Adondo Corporation, Wayne, PA

Special thanks to Solomon for ensuring I pass the 65! Trust in the material and you will pass. I bought multiple resources and by far, Solomon was the best. Thanks again.

Paige Robino, Fisher Investments, Plano, TX